Information Collection

NEW: Rule 15c3-4: Risk management control system

IC 236938 under ICR 202301-3235-012 · OMB 3235-0200.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0200 can be found here:

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Information Collection (IC) Details

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IC Title:	NEW: Rule 15c3-4: Risk management control system	Agency IC Tracking Number:	TM-270-197

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.15c3-1

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 1	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 0 %

	Approved	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	1	-5	6
Annual IC Time Burden (Hours)	917	-4,583	5,500
Annual IC Cost Burden (Dollars)	25,833	-129,167	155,000

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